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JE

John A. Emery

ERNST & YOUNG CAPITAL ADVISORS
Boston, MA 02116
Some features on this profile are disabled
CRD#: 1988667
JE

Professional summary

John Alan Emery, who also goes by John Amir Emery, is a registered financial professional currently at ERNST & YOUNG CAPITAL ADVISORS, LLC located in Boston, Massachusetts.

John is registered as a RR (Registered Representative) and started their career in finance in 1989. John has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Amir Emery

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Alan Emery's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 22, 2024 - Present

ERNST & YOUNG CAPITAL ADVISORS, LLC

Office #1: 200 Clarendon St., Boston, MA 02116
BD
CRD#: 152514
Boston, MA
Past

February 10, 2017 - February 27, 2024

ALANTRA, LLC

BD
CRD#: 22095
Boston, MA
Past

October 22, 2007 - January 17, 2017

BOWEN, INC.

BD
CRD#: 142930
PLYMOUTH, MA
Past

September 19, 1989 - August 10, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(6/24/2024)
RR
Massachusetts
(4/22/2024)
RR
New Jersey
(9/3/2024)
RR
New York
(6/24/2024)
RR
North Carolina
(10/17/2025)
RR
Texas
(8/14/2024)
RR
Utah
(6/24/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/21/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/2/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

E&
ERNST & YOUNG CAPITAL ADVISORS, LLC
ERNST & YOUNG CAPITAL ADVISORS, LLC

CRD#: 152514 / SEC#: , 8-68461

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
One Manhattan West, New York, NY 10001
Mailing Address
One Manhattan West, New York, NY 10001
Phone number
(212) 773-3000
Established
Delaware since 11/06/2009
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EYCA HOLDINGS LLCDIRECT OWNER
ARNOLIE, JENNIFER PICKARDDIRECTOR7072219
COSTA, SERGIOCHIEF COMPLIANCE OFFICER5746445
JOHNSON, PUTRA LFINOP/OFFICER5025564
WOODBY, JOHN PATRICKPRESIDENT, CEO & CONTROL PERSON2526475

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ERNST & YOUNG CAPITAL ADVISORS, LLC

CRD#: 152514Boston, MA 02116

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